DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
S•••••• A•••••• C•••••• M••••••••• L••
Latest filing Jan 31, 2026
First filing on the tape Mar 15, 2018 · 22 filings
SEC status approved since Apr 16, 2018
RAUM
$734M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
91%
$668M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$734M as of Jan 31, 2026
Mar 13, 2019$125M then
HNW client RAUM$661M as of Jan 31, 2026
Mar 13, 2019$125M then
State-registered IARs (5.B.3)5 as of Jan 31, 2026
Mar 13, 20192 then
Employees (5.A)7 as of Jan 31, 2026
Mar 13, 20194 then
Private funds: no history
RAUM +16% over the last fiscal year+30% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Jan 31, 2026; every figure names its basis
- RAUM per advisor
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $16.5MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 8.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$661M90%
- Pension and profit-sharing plans$65.0M8.9%
- Individuals$7.5M1.0%
- Charitable organizations$544,0000.1%
- Individual clients
- 16reported
- HNW clients
- 40reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 304reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days4 left over 36 months
Left, latest
- B•••• S•••••• S•••• to E•••• A•••••••Jun 9, 2026 · RIA to RIA
- J•••••• A••• F••••• to E•••• A•••••••Jun 9, 2026 · RIA to RIA
- C••••• E•••••••• B••• to E•••• A•••••••Jun 9, 2026 · RIA to RIA
- S•••• W•••••• P••••••• to E•••• A•••••••Jun 9, 2026 · RIA to RIA
- I•• T••••• R••••••• to C•• W••••• M•••••••••Mar 10, 2023 · RIA to a state-registered adviser
- L•••••• C•••••• E•••• to M••••• C•••••• A•••••••• L••Nov 1, 2021 · RIA to RIA
Joined, latest
- J•••••• A••• F••••• from A•••••••• A••••Jul 12, 2023 · Other
- S•••• W•••••• P••••••• from F•••• D••••• S••••••••• I•••Nov 29, 2018 · Other
- B•••• S•••••• S•••• from B••••••• C•••••• I•••Jul 2, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for E•••• A•••••••Jun 9, 2026 · D•••••, Tx · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• B••••• S•••••• · Managing Member, Chief Executive Officer, And Chief Compliance Officercontrolsince 03/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| D•••••, Tx · principal | 0 | 0 | 5 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 56 to 304Feb 18, 2025 to Jan 31, 2026
- Advisory employees · 6 to 5Feb 18, 2025 to Jan 31, 2026
- HNW clients · 36 to 40Feb 18, 2025 to Jan 31, 2026
- Employees · 8 to 7Feb 18, 2025 to Jan 31, 2026
- State-registered IARs · 6 to 5Feb 18, 2025 to Jan 31, 2026
- Discretionary RAUM · $530M to $669MFeb 18, 2025 to Jan 31, 2026
- HNW RAUM · $561M to $661MFeb 18, 2025 to Jan 31, 2026
- Non-discretionary RAUM · $103M to $65.0MFeb 18, 2025 to Jan 31, 2026
- RAUM · $634M to $734MFeb 18, 2025 to Jan 31, 2026
- Accounts · 208 to 56Jan 25, 2024 to Feb 18, 2025
- HNW clients · 35 to 36Jan 25, 2024 to Feb 18, 2025
- Employees · 9 to 8Jan 25, 2024 to Feb 18, 2025
- Financial planning clients · 1-10 to 1-10Jan 25, 2024 to Feb 18, 2025
- Discretionary RAUM · $497M to $530MJan 25, 2024 to Feb 18, 2025
- HNW RAUM · $489M to $561MJan 25, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $40.0M to $103MJan 25, 2024 to Feb 18, 2025
- Pension RAUM · $40.0M to $65.0MJan 25, 2024 to Feb 18, 2025
- RAUM · $537M to $634MJan 25, 2024 to Feb 18, 2025
- Accounts · 202 to 208Oct 2, 2023 to Jan 25, 2024
- Advisory employees · 5 to 6Oct 2, 2023 to Jan 25, 2024
- Individual clients · 15 to 16Oct 2, 2023 to Jan 25, 2024
- Employees · 8 to 9Oct 2, 2023 to Jan 25, 2024
- HQ city · unset to D•••••Oct 2, 2023 to Jan 25, 2024
- HQ state · unset to TXOct 2, 2023 to Jan 25, 2024
- State-registered IARs · 5 to 6Oct 2, 2023 to Jan 25, 2024
- Discretionary RAUM · $435M to $497MOct 2, 2023 to Jan 25, 2024
- HNW RAUM · $452M to $489MOct 2, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $65.0M to $40.0MOct 2, 2023 to Jan 25, 2024
- RAUM · $500M to $537MOct 2, 2023 to Jan 25, 2024
- Accounts · 200 to 202Jul 11, 2023 to Oct 2, 2023
- HNW clients · 33 to 35Jul 11, 2023 to Oct 2, 2023
- Employees · 7 to 8Jul 11, 2023 to Oct 2, 2023
- Discretionary RAUM · $357M to $435MJul 11, 2023 to Oct 2, 2023
- HNW RAUM · $375M to $452MJul 11, 2023 to Oct 2, 2023
- RAUM · $422M to $500MJul 11, 2023 to Oct 2, 2023
- Advisory employees · 3 to 5May 18, 2023 to Jul 11, 2023
- Employees · 5 to 7May 18, 2023 to Jul 11, 2023
- State-registered IARs · 3 to 5May 18, 2023 to Jul 11, 2023
- Accounts · 195 to 200Jan 20, 2023 to May 18, 2023
- Discretionary RAUM · $298M to $357MJan 20, 2023 to May 18, 2023
Signals
10 dated events
- S•••••• A•••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $734.0M)Jul 1, 2026 · Left the SEC roster · derived
- C••••• E•••••••• B••• left S•••••• A•••••• C•••••• M••••••••• L•• for E•••• A••••••• (registered 2026-06-11)Jun 9, 2026 · Advisor changed firm · fact
- J•••••• A••• F••••• left S•••••• A•••••• C•••••• M••••••••• L•• for E•••• A••••••• (registered 2026-06-15)Jun 9, 2026 · Advisor changed firm · fact
- B•••• S•••••• S•••• left S•••••• A•••••• C•••••• M••••••••• L•• for E•••• A••••••• (registered 2026-06-15)Jun 9, 2026 · Advisor changed firm · fact
- S•••• W•••••• P••••••• left S•••••• A•••••• C•••••• M••••••••• L•• for E•••• A••••••• (registered 2026-06-15)Jun 9, 2026 · Advisor changed firm · fact
- S•••••• A•••••• C•••••• M••••••••• L••'s advisors moved to E•••• A••••••• (Dallas, TX): 4 of 4 registered, on the same dayJun 9, 2026 · Firm absorbed (people side) · derived
- Louis Ezekiel F••••• no longer registered at S•••••• A•••••• C•••••• M••••••••• L••; no later IA registration on IAPDOct 20, 2025 · Advisor departure · fact
- I•• T••••• R••••••• left S•••••• A•••••• C•••••• M••••••••• L•• for C•• W••••• M••••••••• (registered 2023-04-27)Mar 10, 2023 · Advisor changed firm · fact
- S•••••• A•••••• C•••••• M••••••••• L•• reported RAUM $301.3M, up 67% from $180.0M (2020-06-17 to 2021-03-17)Mar 17, 2021 · RAUM change · derived
- S•••••• A•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 15, 2018 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026